Executive SummaryThe purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the North region and one representing the West region. FINRA small firm members1 in those regions as of the close of business on Thursday, October 17,
ZANBATO SECURITIES LLC711 / 715 N. SHORELINE BLVD., MOUNTAIN VIEW, CA 94043ZATARA CAPITAL SECURITIES L.P.120 NEWPORT CENTER DRIVE, SUITE 50, NEWPORT BEACH, CA 92660ZELMAN PARTNERS, LLC27101 EAST OVIATT ROAD, SUITE 14, BAY VILLAGE, OH 44140ZENITH SECURITIES LLC1061 E INDIANTOWN ROAD, SUITE 318, JUPITER, FL 33477ZEUS FINANCIAL, LLC4800 T-REX AVENUE, SUITE 100, BOCA RATON, FL 33431ZINK DISTRIBUTION
&PARTNERS40 BURTON HILLS BLVD., SUITE 350, NASHVILLE, TN 372151031 SECURITIES INC.25300 WEST 13 MILE RD, FRANKLIN, MI 4802516 POINTS LLC10101 COND ROYAL PALM, VEGA ALTA, PR 006921851 SECURITIES, INCONE AMERICAN ROW, HARTFORD, CT 061021964 GLOBAL71 MURRAY STREET, NO. 8, NEW YORK, NY 100071ST DISCOUNT BROKERAGE, INC.8927 HYPOLUXO ROAD, SUITE A5, LAKE WORTH, FL 334672021 CAPITAL20 S CLARK
YELLOW CARDINAL CORPORATE FINANCE, LLC9120 UNION CENTRE BLVD, SUITE 200, WEST CHESTER, OH 45069YORK SECURITIES, INC.160 BROADWAY, NEW YORK, NY 10038YORK STOCKBROKERS, INC.477 MADISON AVENUE, SUITE 643, NEW YORK, NY 10022YOSEMITE EXECUTION PARTNERS INC.409 READ DR., LAFAYETTE, CA 94549YOUNG & PARTNERS LLC535 FIFTH AVENUE, 4TH FLOOR, NEW YORK, NY 10017YOUNG AMERICA CAPITAL, LLC141 EAST
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Industry Governor (Small Firm Representative)Chief Compliance Officer, XML Securities, LLCGovernor Since 2024Committee: Regulatory Oversight CommitteeProfessional ExperienceXML Securities, LLCManaging equity member (2022 – Present)Chief Compliance Officer, XML Securities, LLC (2013 – Present)Chief Administrative Officer, XML Securities, LLC (2008 – 2012)XML Financial, LLCManaging equity
SummaryEffective January 1, 2025, Historical CAT Cost Recovery Assessment 1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers.Questions regarding this Notice may be directed to:Amanda Rath, Associate Director, Finance, at (240) 386-6637 or email; orFaisal Sheikh, Assistant General Counsel, Office of General Counsel
Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) have updated certain data elements for Electronic Blue Sheets (EBS) to reflect the SEC’s December 21, 2018 approval of MIAX Emerald and the name change of Chicago Stock Exchange to NYSE Chicago, Inc. The updates are effective immediately.
Attachments A and B to this Notice set forth the EBS record
SummaryEffective January 1, 2025, the Prospective CAT Cost Recovery Fee 2024-1 will no longer be in effect for transactions in eligible securities executed by FINRA member CAT executing brokers, and the Prospective CAT Cost Recovery Fee 2025-1 will be in effect.Questions regarding this Notice may be directed to: Amanda Rath, Associate Director, Finance, at (240) 386-
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to certain historical costs of the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan
